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1. brokercheck.finra.orgBrokerCheck - Find a broker, investment or financial advisor

   brokercheck.finra.org

   BrokerCheck gives you a snapshot of a broker's employment history, regulatory actions, and investment-related licensing information, arbitrations and complaints. Want more information? Browse the list of brokers barred by FINRA.

   • A Vibrant Market is at Its Best When It Works for Everyone

     A vibrant market is at its best when it works for everyone....

   • About Brokercheck

     BrokerCheck is a free tool from FINRA that can help you...

   • Privacy

     I. Introduction FINRA, a not-for-profit organization, is...

   • Legal

     The works of authorship contained in the FINRA Website,...

   • CRD#:250

     The content of this summary, and the available detailed...

   • Arbitration Awards Online

     FINRA's Arbitration Awards Online database (“AAO”)...

   • Upgrade Your Web Browser

     Today's websites (including FINRA.org) use technologies such...

2. brokercheck.finra.org › individualBrokerCheck - Find a broker, investment or financial advisor

   brokercheck.finra.org › individual

   BrokerCheck is a trusted tool that shows you employment history, certifications, licenses, and any violations for brokers and investment advisors.

3. www.finra.org › investors › investingAbout BrokerCheck - FINRA.org

   www.finra.org › investors › investing

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   BrokerCheck is a free tool from FINRA that can help you research the professional backgrounds of investment professionals, brokerage firms and investment adviser firms. Where BrokerCheck Information Comes From. Both brokerage firms and individuals must be registered with FINRA to conduct securities transactions and business with the investing ...

4. www.finra.org › about-brokercheck › search-helpBrokerCheck Search Help - FINRA.org

   www.finra.org › about-brokercheck › search-help

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   BrokerCheck Search Help. You may search BrokerCheck for an individual or firm by name, CRD/SEC number, employing firm (individual searches only) or zip code.

5. www.finra.org › registration-exams-ce › classic-crdIndividual Registration and Licensing Information | FINRA.org

   www.finra.org › registration-exams-ce › classic-crd

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   Individuals who are or have been registered as a broker or investment adviser representative can now access their registration and licensing information via the Financial Professional Gateway (FinPro). This site contains information reported about an individual, including qualifications, employment history and disclosure events.

6. www.investor.gov › introduction-investing › getting-startedUsing BrokerCheck - Investor.gov

   www.investor.gov › introduction-investing › getting-started

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   Details on a broker’s background and qualifications are available for free on FINRA’s BrokerCheck website. Using BrokerCheck, you can search for a brokerage firm or individual broker by name or registration number, and link to state regulators’ websites.

7. www.the-practice.online › post › what-does-the-finra-series-8-license-entail-andWhat Does the FINRA Series 8 License Entail and Who Needs It?

   www.the-practice.online › post › what-does-the-finra-series-8-license-entail-and

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   26 gru 2023 · The FINRA Series 8 license, officially known as the General Securities Sales Supervisor Qualification Examination (GS), is a regulatory requirement for individuals supervising the sales activities of general securities representatives.